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Pathfinder Bancorp : Statement of Changes in Beneficial Ownership
March 09, 2020 at 10:23 am EDT
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person *
2. Issuer Name and Ticker or Trading Symbol
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Barclay William A
Pathfinder Bancorp, Inc. [ PBHC ]
__X __ Director
_____ 10% Owner
(Last)
(First)
(Middle)
3. Date of Earliest Transaction (MM/DD/YYYY)
_____ Officer (give title below)
_____ Other (specify below)
214 WEST FIRST STREET
3/6/2020
(Street)
4. If Amendment, Date Original Filed (MM/DD/YYYY)
6. Individual or Joint/Group Filing (Check Applicable Line)
OSWEGO, NY 13126
_X _ Form filed by One Reporting Person
(City)
(State)
(Zip)
___ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
2. Trans. Date
2A. Deemed
3. Trans. Code
4. Securities Acquired (A)
5. Amount of Securities Beneficially Owned
6.
7. Nature
(Instr. 3)
Execution
(Instr. 8)
or Disposed of (D)
Following Reported Transaction(s)
Ownership
of Indirect
Date, if any
(Instr. 3, 4 and 5)
(Instr. 3 and 4)
Form:
Beneficial
Direct (D)
Ownership
or Indirect
(Instr. 4)
(A) or
(I) (Instr.
Code
V
Amount
(D)
Price
4)
Common Stock
3/6/2020
M
8236
A
$5.4638
19987
D
Table II - Derivative Securities Beneficially Owned (e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate
2.
3. Trans.
3A. Deemed
4. Trans. Code
5. Number of
6. Date Exercisable and
7. Title and Amount of
8. Price of
9. Number of
10.
11. Nature
Security
Conversion
Date
Execution
(Instr. 8)
Derivative Securities
Expiration Date
Securities Underlying
Derivative
derivative
Ownership
of Indirect
(Instr. 3)
or Exercise
Date, if any
Acquired (A) or
Derivative Security
Security
Securities
Form of
Beneficial
Price of
Disposed of (D)
(Instr. 3 and 4)
(Instr. 5)
Beneficially
Derivative
Ownership
Derivative
(Instr. 3, 4 and 5)
Owned
Security:
(Instr. 4)
Security
Following
Direct (D)
Amount or
Date
Expiration
Reported
or Indirect
Code
V
(A)
(D)
Exercisable
Date
Title
Number of
Transaction(s)
(I) (Instr.
Shares
(Instr. 4)
4)
Stock Options
$5.4638
3/6/2020
M
8236
6/23/2012
6/23/2021
Common
8236
$0.00
0
D
Stock
Explanation of Responses:
Reporting Owners
Reporting Owner Name / Address
Relationships
Director
10% Owner
OfficerOther
Barclay William A
214 WEST FIRST STREET
X
OSWEGO, NY 13126
Signatures
/s/ James A. Dowd as POA for William A. Barclay
3/9/2020
** Signature of Reporting Person
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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Disclaimer
Pathfinder Bancorp Inc. published this content on 09 March 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 09 March 2020 14:22:02 UTC
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Duration Auto. 2 months 3 months 6 months 9 months 1 year 2 years 5 years 10 years Max.
Period Day Week
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Pathfinder Bancorp, Inc. is a holding company, which operates through its subsidiary Pathfinder Bank (the Bank). The Bank is primarily engaged in the business of attracting deposits from the public, and investing such deposits, in loans secured by commercial and residential real estate, and commercial business and consumer assets other than real estate. The Company also invests in mortgage-backed securities issued or guaranteed by United States Government sponsored enterprises, collateralized mortgage obligations and similar debt securities issued by both government sponsored entities and private (non-governmental) issuers, and asset-backed securities that are generally issued by private entities. Its loan portfolio includes municipal loans, home equity loans and lines and consumer loans. The Company operates over seven branch offices located in Oswego County, four branch offices in Onondaga County, and one limited purpose office in Oneida County.
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